Bruce W. Roberts

REGAL CAPITAL MANAGEMENT

Bedford, IN 47421

Some features on this profile are disabled

CRD#: 4325482

Professional summary

Bruce Wayne Roberts is a registered financial advisor currently at REGAL CAPITAL MANAGEMENT, INC. located in Bedford, Indiana.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Bruce has worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PRESIDENT OF A STATE REGISTERED INVESTMENT ADVISOR (RIA): REGAL CAPITAL MANAGEMENT, INC. 631 X ST, BEDFORD, IN 47421 STARTED 06/2003 POSITION: PRESIDENT DO IT RIGHT TRAVEL - PRESIDENT. NOT INVESTMENT RELATED. PART TIME. NATURE: RIA PROVIDING FINANCIAL PLANNING/ADVISORY AND INVESTMENT MANAGEMENT SERVICES. HOURS: 40/WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Wayne Roberts's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 20, 2003 - Present

REGAL CAPITAL MANAGEMENT, INC.

Office #1: 631 X Street, Bedford, IN 47421

RIA

CRD#: 126952

Bedford, IN

Past

October 14, 2008 - November 2, 2009

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

JACKSON, TN

Past

November 14, 2002 - November 30, 2006

SPC

RIA

CRD#: 110692

SPRINGVILLE, IN

Past

November 6, 2002 - November 30, 2006

PARKLAND SECURITIES, LLC

CRD#: 115368

SPRINGVILLE, IN

Past

April 5, 2002 - November 6, 2002

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

BLOOMINGTON , IN

Past

February 9, 2001 - November 6, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(6/20/2003)

IAR

Texas
(8/20/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/30/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/8/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

REGAL CAPITAL MANAGEMENT, INC.

CRD#: 126952 / SEC#:

Indiana

Registered Investment Advisory firm - (6/20/2003 Approved)

Texas

Registered Investment Advisory firm - (8/29/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

631 X Street, Bedford, IN 47421

Mailing Address

631 X Street, Bedford, IN 47421

Phone number

(812) 275-8808

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	320
AUM (Assets Under Management)	$ 40,414,992

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Frank Barbera

ROYAL PALMS CAPITAL, LLC

ROLLING HILLS EST., CA

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

IAR

SETAUKET, NY

Madison Epperson

FBL MARKETING SERVICES, LLC

Nevada, IA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bruce W. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Wayne Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGAL CAPITAL MANAGEMENT, INC.

SILVER OAK SECURITIES, INCORPORATED

SPC

PARKLAND SECURITIES, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 2/16/2001

Series 7

Date: 1/30/2002

Series 6

Date: 2/8/2001

Current Firm

REGAL CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGAL CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors